27.12.2024
SA7 Preliminaries to Trial in the Crown Court
Arraignment, Change of Plea and Pleas to Lesser Offences
Consequences of a Finding of Unfitness
When an accused is found unfit to plead under the Criminal Procedure (Insanity) Act
1964, s.5, the court can determine whether the accused did the act or omission charged.
If this is established, the court has three statutory options for orders:
Hospital Order:
Admission to a hospital specified by the Secretary of State.
May include a restriction order without a time limit (Mental Health Act 1983
provisions apply).
Supervision Order:
Permits supervision arrangements in the community, requiring evidence of proper
arrangements being available and in place.
Case Reference: City and County of Swansea v Swansea Crown Court
[2016] emphasized the necessity of evidence before issuing such orders.
Absolute Discharge:
Used where further formal intervention is unnecessary.
Key Case Law
Fairley [2003] EWCA Crim 1625:
Judges can only make orders prescribed by the statute.
Grant [2001] EWCA Crim 2611:
For murder charges, where unfitness is found, the judge is compelled to issue a
hospital order with no time limitation, regardless of medical justification for indefinite
detention.
City and County of Swansea v Swansea Crown Court [2016]:
Before a supervision order is made, the court must ensure the availability of
supervision arrangements.
Relevant Procedure Under the Act
Criminal Procedure (Insanity) Act 1964, Section 4 – Determination of Fitness:
When Question Arises: The question of unfitness may arise before or during the trial
and must be determined by the court before moving to trial evidence.
Evidence Requirements:
Determination must rely on evidence from two registered medical practitioners, one
of whom must be duly approved under the Mental Health Act 1983.
Criminal Procedure (Insanity) Act 1964, Section 4A – Determining if the Accused Did the
Act or Omission Charged:
If found unfit:
A jury (or judge if no jury is present) determines whether the accused committed
the act or omission.
The burden of proof remains on the prosecution, and the standard is beyond
reasonable doubt.
Criminal Procedure (Insanity) Act 1964, Section 5 – Orders Following Special Verdicts:
Where an accused is found to have committed the act while unfit, the court must
impose one of the statutory disposals:
Hospital order (with or without restrictions).
Supervision order.
Absolute discharge.
Arraignment Procedure (CrimPR 3.32)
Steps in Arraignment:
Preliminary Confirmation by the Court:
The court confirms with the prosecution:
1
Max Lewis
, 27.12.2024
That the indictment represents the charges to proceed.
The order in which defendants’ names appear.
Explanation of Charges:
Each charge is explained to the accused in comprehensible terms.
Taking the Plea:
For each count:
The clerk reads the count aloud or places it before the accused.
The accused is asked to plead guilty or not guilty.
Key Rules & Practicalities
If an accused refuses to plead or provides an ambiguous response, the court enters
a not guilty plea on their behalf (CrimPR 25.9).
Pleas are taken in the absence of potential jurors to avoid prejudice (CrimPD).
Accused in custody or not may be arraigned via live link in certain circumstances (CDA
1998, ss.57A–F).
Types of Pleas on Arraignment
Plea of Not Guilty:
Effect:
Puts the prosecution to proof beyond a reasonable doubt.
Requires the prosecution to establish actus reus and mens rea.
Court’s Role:
May direct acquittal if evidence is insufficient (no case to answer).
Plea of Guilty:
Requirement:
Must be made personally by the accused (Ellis [1973]) to be valid.
If entered by counsel without the accused's direct statement, the plea is void.
Effect:
No jury is empanelled; the accused is convicted based on the plea alone.
Sentencing follows immediately or after adjournment for further inquiries (e.g.,
reports).
Mixed Pleas
If an accused pleads guilty to some counts and not guilty to others, sentencing is
postponed until the trial on contested counts concludes.
Changing a Plea
From Not Guilty to Guilty:
Allowed at any point before a verdict.
After jury empanelment, a formal guilty verdict must still be recorded.
From Guilty to Not Guilty:
Discretionary and permitted before sentencing (Plummer [1902]).
Must demonstrate justification for withdrawal to avoid undermining court processes.
Key Notes on the Consequences of Pleas
Newton Hearings:
May be held if there is a factual dispute about the basis of a guilty plea.
The court decides the disputed facts before sentencing.
Adjournments post-plea:
Bail may be granted after a guilty plea pending reports or further proceedings.
Impact on Co-Accused:
A guilty plea by one defendant may influence proceedings for co-defendants but does
not determine their guilt.
Criminal Procedure Rules (CrimPR 3.32)
2
Max Lewis
SA7 Preliminaries to Trial in the Crown Court
Arraignment, Change of Plea and Pleas to Lesser Offences
Consequences of a Finding of Unfitness
When an accused is found unfit to plead under the Criminal Procedure (Insanity) Act
1964, s.5, the court can determine whether the accused did the act or omission charged.
If this is established, the court has three statutory options for orders:
Hospital Order:
Admission to a hospital specified by the Secretary of State.
May include a restriction order without a time limit (Mental Health Act 1983
provisions apply).
Supervision Order:
Permits supervision arrangements in the community, requiring evidence of proper
arrangements being available and in place.
Case Reference: City and County of Swansea v Swansea Crown Court
[2016] emphasized the necessity of evidence before issuing such orders.
Absolute Discharge:
Used where further formal intervention is unnecessary.
Key Case Law
Fairley [2003] EWCA Crim 1625:
Judges can only make orders prescribed by the statute.
Grant [2001] EWCA Crim 2611:
For murder charges, where unfitness is found, the judge is compelled to issue a
hospital order with no time limitation, regardless of medical justification for indefinite
detention.
City and County of Swansea v Swansea Crown Court [2016]:
Before a supervision order is made, the court must ensure the availability of
supervision arrangements.
Relevant Procedure Under the Act
Criminal Procedure (Insanity) Act 1964, Section 4 – Determination of Fitness:
When Question Arises: The question of unfitness may arise before or during the trial
and must be determined by the court before moving to trial evidence.
Evidence Requirements:
Determination must rely on evidence from two registered medical practitioners, one
of whom must be duly approved under the Mental Health Act 1983.
Criminal Procedure (Insanity) Act 1964, Section 4A – Determining if the Accused Did the
Act or Omission Charged:
If found unfit:
A jury (or judge if no jury is present) determines whether the accused committed
the act or omission.
The burden of proof remains on the prosecution, and the standard is beyond
reasonable doubt.
Criminal Procedure (Insanity) Act 1964, Section 5 – Orders Following Special Verdicts:
Where an accused is found to have committed the act while unfit, the court must
impose one of the statutory disposals:
Hospital order (with or without restrictions).
Supervision order.
Absolute discharge.
Arraignment Procedure (CrimPR 3.32)
Steps in Arraignment:
Preliminary Confirmation by the Court:
The court confirms with the prosecution:
1
Max Lewis
, 27.12.2024
That the indictment represents the charges to proceed.
The order in which defendants’ names appear.
Explanation of Charges:
Each charge is explained to the accused in comprehensible terms.
Taking the Plea:
For each count:
The clerk reads the count aloud or places it before the accused.
The accused is asked to plead guilty or not guilty.
Key Rules & Practicalities
If an accused refuses to plead or provides an ambiguous response, the court enters
a not guilty plea on their behalf (CrimPR 25.9).
Pleas are taken in the absence of potential jurors to avoid prejudice (CrimPD).
Accused in custody or not may be arraigned via live link in certain circumstances (CDA
1998, ss.57A–F).
Types of Pleas on Arraignment
Plea of Not Guilty:
Effect:
Puts the prosecution to proof beyond a reasonable doubt.
Requires the prosecution to establish actus reus and mens rea.
Court’s Role:
May direct acquittal if evidence is insufficient (no case to answer).
Plea of Guilty:
Requirement:
Must be made personally by the accused (Ellis [1973]) to be valid.
If entered by counsel without the accused's direct statement, the plea is void.
Effect:
No jury is empanelled; the accused is convicted based on the plea alone.
Sentencing follows immediately or after adjournment for further inquiries (e.g.,
reports).
Mixed Pleas
If an accused pleads guilty to some counts and not guilty to others, sentencing is
postponed until the trial on contested counts concludes.
Changing a Plea
From Not Guilty to Guilty:
Allowed at any point before a verdict.
After jury empanelment, a formal guilty verdict must still be recorded.
From Guilty to Not Guilty:
Discretionary and permitted before sentencing (Plummer [1902]).
Must demonstrate justification for withdrawal to avoid undermining court processes.
Key Notes on the Consequences of Pleas
Newton Hearings:
May be held if there is a factual dispute about the basis of a guilty plea.
The court decides the disputed facts before sentencing.
Adjournments post-plea:
Bail may be granted after a guilty plea pending reports or further proceedings.
Impact on Co-Accused:
A guilty plea by one defendant may influence proceedings for co-defendants but does
not determine their guilt.
Criminal Procedure Rules (CrimPR 3.32)
2
Max Lewis
